U.S. Company Export Compliance Policies and Procedures: Requirements and Content
by Sarah Guasta


With the U.S. Government becoming more aggressive in compliance investigations, all companies involved in U.S. export activities should create and implement sufficient policies/procedures and controls to ensure compliance with U.S. export laws and regulations and to meet the expectations of the various U.S. export compliance agencies.


For U.S. companies designing and/or producing military/defense or other controlled product, it is important that a company have in place a Technology Control Plan (TCP) and Export Licensing and Compliance/Control Policies and Procedures (P&P).


When a US company obtains appropriate end-use or end-user certification from a foreign customer or consignee (and, as required, US export licensing authority), and upon shipment qualifies the required controls for the commodities and/or technical data being exported, the US company has fulfilled their obligation in complying with US export laws and regulations.


The TCP is specific to control of Foreign National Visitors/Employees and is required to obtain technical data licenses for Foreign National employees; however, it lacks additional controls which are normally built into a comprehensive export compliance/control P&P's.

 

The export P&P primarily contains controls over sales/shipment of product, but also contains additional controls over technical data, including internal qualification of ITAR/EAR controlled technical data and shipment rights and requirements for a company’s decision making.

 

At a minimum, a P&P should cover the following topics: Product/Commodities Export Control; Export Shipments & Documentation; Technical Data Export Control; Marking of Technical Data; Technology Control Plan; Purchasing Procedures; Recordkeeping; Reviews/Audits of Export Controls& Compliance; and Training.

 

The TCP and P&P should not only provide directions and controls to ensure your company’s compliance with U.S. export laws and regulations, but are necessary for defense of your company should errors in transfer/export of technical data or product occur.

 

This publication is for informational purposes only and is not offered as legal advice as to any particular matter. No reader should act on the basis of this publication without seeking appropriate professional advice as to the particular facts and applicable law involved.

 

 
EXPORT COMPLIANCE WEBINARS

- Foreign National Employee Licensing
- Export Shipment Documentation
- Technical Data Export Requirements
- Export Classification of Product



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